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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following statements regarding an investment adviser representative who has an office in the state is true?

A) Regardless of whether the investment adviser is registered with the SEC or is registered with the state, all investment adviser representatives of the firm must be registered with the state if they have offices in the state.
B) If an investment adviser representative is registered with the SEC, he or she need not obtain state registration, regardless of whether the investment adviser representative has an office in the state.
C) If the investment adviser that the investment adviser representative is affiliated with is itself registered with the state, then the investment adviser representative does not need to apply for a separate registration, regardless of whether the investment adviser representative has an office in the state.
D) If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its affiliated investment adviser representative needs to be registered with the state.

2. Which of the following is not one of the criteria for a security to be eligible for registration by notification?

A) If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
B) The issuer must have preferred stockholders as well as common stockholders.
C) The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
D) The issuer must never have defaulted on any bond or long-term lease obligation.

3. In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.

A) III only
B) II only
C) I only
D) I and III only

4. Which of the following persons is required to maintain its records in accordance with state dictates and meet the minimum net capital requirement imposed by the state?
I. federal covered adviser
II. state-registered investment adviser III. investment adviser representative

A) II only
B) II and III only
C) I and II only
D) I, II, and III

5. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) four.
B) There is no specified turnover ratio assigned to the prohibited practice of churning.
C) five.
D) eight.

Solutions: